Susan P. Fischer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan Paula Fischer, who also goes by Susan Fischer Smith, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1983. Susan had worked at 11 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2002 - November 17, 2006
QUEST SECURITIES, INC.
November 13, 2001 - October 15, 2002
GBS FINANCIAL CORP.
November 30, 1999 - November 20, 2001
FIELD LOGAN & CO., LLC
July 11, 1998 - December 23, 1999
UBS FINANCIAL SERVICES INC.
September 29, 1993 - July 6, 1998
BA INVESTMENT SERVICES, INC.
October 22, 1991 - September 24, 1993
MARKETING ONE SECURITIES, INC.
August 1, 1991 - August 27, 1991
IFMG SECURITIES, INC.
April 17, 1989 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
February 10, 1988 - December 31, 1988
CETERA WEALTH SERVICES, LLC
December 18, 1985 - July 9, 1986
METLIFE INVESTORS DISTRIBUTION COMPANY
November 27, 1984 - February 8, 1985
UBS FINANCIAL SERVICES INC.
July 21, 1983 - November 30, 1984
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
QUEST SECURITIES, INC.
CRD#: 6828 / SEC#: , 8-18273
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
